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LPl Financial LLC CRD 6413
$819B regulatory AUM 209,600 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-01 |
| TX | RA | APPROVED_RES | 2024-08-16 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc | Torrance | CA | 05/2015 | 10/2017 |
| Raymond James Financial Services, Inc | Torrance | CA | 10/2017 | Present |
| Raymond James Financial Services Advisors, Inc | Torrance | CA | 10/2017 | Present |
| Lumen Wealth Group, Llc | Manhattan Beach | CA | 11/2017 | 07/2019 |
| Crux Insurance Agency | Manhattan Beach | CA | 11/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-07-09 |
| S63 | Uniform Securities Agent State Law Examination | 1997-10-14 |
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